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Municipal Advisor Firms

MSRB-Registered Municipal Advisor Firms and Qualified Representatives and Principals

The Municipal Advisor Firms tab displays municipal advisor firms registered with the MSRB with at least one individual associated with the firm who has passed the MSRB’s Municipal Advisor Representative Qualification Examination (Series 50).1

Municipal advisor firms must have at least one individual appropriately qualified who has passed the Series 50 exam in order to engage in municipal advisory activities. Municipal market participants should closely review this list as part of evaluating the qualifications of a municipal advisor firm. Any entity that is engaging in municipal advisory activities on behalf of a municipal entity or obligated person client without having taken the necessary steps to become a duly registered municipal advisor firm – meaning having filed Form MA (Application for Municipal Advisor Registration) and Form MA-I (Information Regarding Natural Persons Who Engage in Municipal Advisory Activities) with the SEC and Form A-12 with the MSRB – could be deemed an unregistered municipal advisor firm, which is a violation of MSRB rules and other federal securities laws.

The link on this tab facilitates access to the required disclosures that municipal advisor firms make to the U.S. Securities and Exchange Commission (SEC) on SEC Forms MA and MA-I. These disclosures may include information about criminal actions, regulatory actions, investigations, terminations, judgments, liens, civil judicial actions, customer complaints, arbitrations and civil litigation, if any. Read more about working with municipal advisors in the MSRB Education Center. 

Click on a firm or individual’s name below to access the filings made with the SEC.

Only those MSRB-registered municipal advisor firms who have at least one Series 50-qualified representative can be found in the list below.

Find a Firm:
Show entries:
Firm Name Sort descending MSRB ID State Registrant Type
Hobbs, Ong & Associates, Inc. K0286 NV Municipal Advisor
Principal Name
Hobbs, Guy
Huntington Securities, Inc A0693 OH Municipal Advisor/Broker Dealer
Huron Public Finance Advisory LLC K1293 IL Municipal Advisor
Principal Name
Kaplan, Philip
Independent Public Advisors, LLC K0810 MO Municipal Advisor
Representative Name
Pooler, Tionna
Principal Name
Pooler, Tionna
Ineo Capital LLC K0369 FL Municipal Advisor
Representative Name
Sirinyan, Mark
Principal Name
Sirinyan, Mark
InnoVative Capital LLC K0426 PA Municipal Advisor
Representative Name
Richman, Alan
Principal Name
Richman, Alan
Institutional Bond Network LLC. A7419 CA Municipal Advisor/Broker Dealer
Principal Name
Hagge, Erik
Iron Lion LLC K1289 AZ Municipal Advisor
Representative Name
Lawson, Nicholas
Principal Name
Lawson, Nicholas
IRR Corporate & Public Finance, LLC K1047 KS Municipal Advisor
Principal Name
Hansen, John
Isosceles & Company K1200 NJ Municipal Advisor
Representative Name
Birbrower, Doug
Principal Name
Birbrower, Doug
JAMES JOSEPH DARBY K1146 NJ Municipal Advisor
Representative Name
Darby, James
Principal Name
Darby, James
Janney Montgomery Scott LLC A0785 PA Municipal Advisor/Broker Dealer
JFBP, LLC K0363 NY Municipal Advisor
Representative Name
Kurtzman, Pamela
Principal Name
Kurtzman, Pamela
JNA Consulting Group, LLC K0273 NV Municipal Advisor
John W, Meyer PhD K0623 MN Municipal Advisor
Representative Name
Meyer, John
Principal Name
Meyer, John
Johnson Research Group, Inc. K1046 IL Municipal Advisor
Representative Name
Moroney, Ann
Principal Name
Moroney, Ann
Jones Lang LaSalle Securities, LLC A7377 IL Municipal Advisor/Broker Dealer
Principal Name
Cavagnaro, William
K-12 Capital Advisors, LLC K1210 GA Municipal Advisor
Representative Name
Wilson, James
Principal Name
Wilson, James
Kaiser Wealth Management K0120 WY Municipal Advisor
Representative Name
Bishop, Todd
Principal Name
Bishop, Todd
Kane, McKenna Capital, Inc A3525 IL Municipal Advisor
Representative Name
Mckenna, Philip
Principal Name
Mckenna, Philip
Kaufman, Hall & Associates, LLC K0216 IL Municipal Advisor
Kensington CA, LLC K0153 NC Municipal Advisor
Kentucky Association of Counties K0644 KY Municipal Advisor
Principal Name
Mittler, Kelly
Key Charter Advisors, LLC K1269 CA Municipal Advisor
Representative Name
Yoder, Karl
Principal Name
Yoder, Karl
KeyBanc Capital Markets Inc. A0953 OH Municipal Advisor/Broker Dealer

1 The Municipal Advisor Firm tab is updated daily and is dependent on the quality of the data a municipal advisor submits to the Securities and Exchange Commission (SEC). If you believe your firm has been incorrectly omitted from this list, please contact MSRB Support at 202-838-1330 or MSRBsupport@msrb.org.

Any entity that is engaging in municipal advisory activities on behalf of a municipal entity or obligated person client without having taken the necessary steps to become a duly registered municipal advisor firm – meaning having filed Form MA (Application for Municipal Advisor Registration) and Form MA-I (Information Regarding Natural Persons Who Engage in Municipal Advisory Activities) with the SEC and Form A-12 with the MSRB – could be deemed an unregistered municipal advisor firm, which is a violation of MSRB rules and other federal securities laws.